Patrick J. Burns, Jr., J.D. – President & Co-Founder
Patrick is our President and co-founder of Advanced Regulatory Compliance, LLC. He is also the managing attorney with the Law Offices of Patrick J. Burns, Jr., P.C., a securities, corporate and employment law firm dedicated to assisting industry members with their legal needs. Mr. Burns received his Juris Doctor degree from Southwestern University School of Law in Los Angeles, California and Bachelor of Business Administration degree from Pace University’s Lubin School of Business in Pleasantville, New York. He began his professional career with a New Jersey based law firm and then worked in a legal and compliance capacity for several financial services firms located in New York City and Los Angeles. During his financial services career, he acquired numerous FINRA and insurance licenses. Mr. Burns is a frequent industry speaker on breakaway broker matters, investment advisory compliance issues and general regulatory matters.
Roya Yeroshalmi – Managing Partner & Co-Founder
Roya Yeroshalmi is a managing partner and co-founder of Advanced Regulatory Compliance, LLC. She oversees our accounting team, technology program, human resources department and broker dealer compliance services. She graduated from California State University of Northridge with a bachelor’s degree in Business Administration with a concentration in finance and marketing. During her career, Ms. Yeroshalmi acquired numerous securities and insurance licenses and has been involved in broker dealer compliance for more than twenty years.
Ms. Yeroshalmi began her career as a financial consultant in Los Angeles and later moved to New York where she worked at several broker dealers. During this time, Ms. Yeroshalmi performed field audits and held various internal compliance roles to assist with firm efforts to supervise their branch offices by monitoring, reporting and enforcing regulatory and firm rules.
Alex has been with Advanced Regulatory Compliance since March of 2016. He graduated the University of Iowa in May 2009 with a double major in Finance and International Business. His first job out of college was with Ameriprise Financial at their corporate headquarters in Minneapolis where he was responsible for the due diligence and approval of Alternative Investment products. After that Alex spent a couple of years working the trading desk at Nations Financial Group, a dual registered Broker Dealer and Investment Adviser where he earned his Series 7, 66, and 24 licenses. From there he assumed a Compliance Analyst role at National Planning Corporation focused on trading supervision and dispute resolution. In his spare time Alex enjoys golfing, hiking, traveling, and spending time with friends and family.
Michael Hart – Compliance Audit Manager
Mike has provided investment advisory consulting services since joining Advanced Regulatory Compliance in February 2013. After graduating from the University of California, Santa Barbara with Bachelor of Arts Degrees in History and Political Science, Mike entered the University of California’s Washington, DC-based academic program at the UC Washington Center. Mike interned and worked at the Dershowitz Group, which assisted foreign policy think tanks and national security organizations by conducting research and organizing events with Congressional leaders to help impact legislation. Upon returning to Southern California, Mike worked at an intellectual property law firm in Century City before joining Advanced Regulatory Compliance. As a Senior Paralegal and Compliance Audit Manager, Mike focuses on providing regulatory guidance, organizing and conducting on-site audits, and assisting newer team members. Mike can usually be found at the pool or enjoying live music with friends outside the office.
Forrest joined the ARC team in March of 2016 and has transitioned into a leadership role over his last 2 years at the firm. He obtained his Bachelor of Science Degree in Business Administration with emphasis in Accounting at the University of California, Riverside in 2013. After completing his undergraduate studies, he moved to Los Angeles and started an accounting position at Creative Artists Agency. He then accepted a new role at ARC and assisted in developing a Back-Office team with Roya Yeroshalmi. Over the last few years Forrest has increased his knowledge in compliance and continues to further his education in the financial services industry. Going forward he will continue to focus on building new business relationships while ensuring ARC’s clients are provided with excellent customer service. In his free time, Forrest enjoys playing basketball, spending time with friends at the beach, and watching his favorite sports teams.